page_title: Theory U
section_title: Earlier work: U-procedure
hierarchical_section_title: Theory U / Earlier work: U-procedure
caption_attribution_description: Nederlands: Schematische weergave van de u procedure
context_page_description: Theory U is a change management method and the title of a book by Otto Scharmer. Scharmer with colleagues at MIT conducted 150 interviews with entrepreneurs and innovators in science, business, and society and then extended the basic principles into a theory of learning and management, which he calls Theory U. The principles of Theory U are suggested to help political leaders, civil servants, and managers break through past unproductive patterns of behavior that prevent them from empathizing with their clients' perspectives and often lock them into ineffective patterns of decision making.
context_section_description: The earlier work by Glasl involved a sociotechnical, Goethean and anthroposophical process involving a few or many co-workers, managers and/or policymakers. It proceeded from phenomenological diagnosis of the present state of the organisation to plans for the future. They described a process in a U formation consisting of three levels (technical and instrumental subsystem, social subsystem and cultural subsystem) and seven stages beginning with the observation of organisational phenomena, workflows, resources etc., and concluding with specific decisions about desired future processes and phenomena. The method draws on the Goethean techniques described by Rudolf Steiner, transforming observations into intuitions and judgements about the present state of the organisation and decisions about the future. The three stages represent explicitly recursive reappraisals at progressively advanced levels of reflective, creative and intuitive insight and (epistemologies), thereby enabling more radically systemic intervention and redesign. The stages are: phenomena – picture (a qualitative metaphoric visual representation) – idea (the organising idea or formative principle) – and judgement (does this fit?). The first three then are reflexively replaced by better alternatives (new idea --> new image --> new phenomena) to form the  design design.  Glasl published the method in Dutch (1975), German (1975, 1994) and English (1997).
  The seven stages are shown below.
  In contrast to that earlier work on the U procedure, which assumes a set of three subsystems in the organization that need to be analyzed in a specific sequence, Theory U starts from a different epistemological view that is grounded in Varela's approach to neurophenomenology. It focuses on the process of becoming aware and applies to all levels of systems change. Theory U contributed to advancing organizational learning and systems thinking tools towards an awareness-based view of systems change that blends systems thinking with systems sensing. On the left-hand side of the U the process is going through the three main "gestures" of becoming aware that Francisco Varela spelled out in his work (suspension, redirection, letting-go). On the right-hand side of the U this process extends towards actualizing the future that is wanting to emerge (letting come, enacting, embodying).
caption: Schematic depiction of U procedure by Glasl, F.
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